LV
Leopoldo Vazquez
INSIGHT SECURITIES
The Woodlands, TX 77382
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CRD#: 2598163
LV
Professional summary
Leopoldo Vazquez is a registered financial professional currently at INSIGHT SECURITIES, INC. located in The Woodlands, Texas.
Leopoldo is registered as a RR (Registered Representative) and started their career in finance in 1995. Leopoldo has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Leopoldo Vazquez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 19, 2015 - Present
INSIGHT SECURITIES, INC.
Office #1: 22 East Sundance Cir., The Woodlands, TX 77382RIA
BD
CRD#: 5611
The Woodlands, TX
Past
February 28, 2014 - September 1, 2015
TITLEIST CAPITAL, LLC
BD
CRD#: 126136
THE WOODLANDS, TX
Past
January 2, 2009 - February 21, 2014
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
THE WOODLANDS, TX
Past
May 1, 2008 - December 31, 2008
AWM SERVICES, LLC
BD
CRD#: 6439
THE WOODLANDS, TX
Past
May 17, 2001 - September 2, 2009
SUMMA CORP.
RIA
CRD#: 113091
THE WOODLANDS, TX
Past
May 17, 2001 - May 2, 2008
INSIGHT SECURITIES, INC.
BD
CRD#: 5611
THE WOODLANDS, TX
Past
April 12, 1995 - August 24, 1999
MONEX SECURITIES, INC.
BD
CRD#: 30362
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Maryland(2/1/2024)
RR
Texas(8/19/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
600 Central Ave Suite 293, Highland Park, IL 60035
Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035
Phone number
(224) 632-4700
Established
Delaware since 11/12/1970
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
25
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INSIGHT SECURITIES, INC.
CRD#: 5611The Woodlands, TX 77382TRUST BUT VERIFY
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